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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-06-02
  • MD RA
    APPROVED
    Since 2023-06-02

Branch Locations

7692 Dorchester Blvd., Hanover, MD 21076 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Randallstown MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Randallstown MD 11/2016 06/2023
Raymond James Financial Services Advisors, Inc. Hanover MD 05/2023 Present
Fulton Bank Hanover MD 07/2023 Present
Raymond James Financial Services, Inc. Hanover MD 06/2023 Present
Previous Registrations
  • 2002-09-11 → 2023-06-28
    Jessup, MD
    Jessup, MD
    Baltimore, MD
    Columbia, MD
    Randallstown, MD
    Baltimore, MD
    Severn, MD
    Hanover, MD
    Catonsville, MD
    Owings Mills, MD
Other Businesses

(1)Name of Business: Fulton Financial Advisors Address: 7692 Dorchester Blvd, Hanover, MD, 21076-1767, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 07/06/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Providing financial services and advice

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-30
  • S66 Uniform Combined State Law Examination
    2000-11-30

View on SEC IAPD

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